RIA Registration Specialist

RIA Compliance Concepts offer consummate support to registered investment advisers via assistance with their compliance program and requirements. Over several years in business, we have earned a reputation as one of the most responsive and reliable RIA compliance consultant companies in the region. We leave no stone unturned and take care of all of our client's compliance needs, keeping them in the good graces of even the most complicated regulatory bodies. Our firm is here for everything from registration assistance to renewal and amendment services, all the way to annual risk assessments.

RIA Compliance Concepts is seeking a full time remote Registration Specialist to manage and maintain the registration and licensing processes for RIA Compliance Concept clients. This role ensures compliance in registration with state, FINRA, and SEC registration process.

Specific responsibilities include:

• Consult and manage clients through the state, FINRA and/or SEC registration process
• Manage activities for CRD application, FINRA, S.E.C. State, Insurance requirements
• Process U-4, U-5, Form BD, Form ADV and various state forms
• Monitor continuing education requirements and communicate deadlines to registered individuals
• View, respond to WEB CRD queues and reports
• Coordinate fingerprinting, background checks, and other pre-employment compliance steps as needed
• Track registrations, renewals, and expirations to ensure compliance with regulatory deadlines
• Process registration renewals
• Prepare clients for regulatory audits and investigations
• Act as a liaison with clients and regulators
• Prepare and respond to document requests and inquiries from regulators
• Respond to regulatory inquiries and audits, providing necessary documentation and reports
• Keep up to date with changes in FINRA, SEC, and state regulations registrations processes, ensuring firm policies remain compliant
• Other duties as assigned
  
  

More about you:

• 3+ years experience in an administrative and customer facing role. Financial experience a plus
• Investment Adviser Certified Compliance Professional (IACCP) or Certified Regulatory and Compliance Professional (CRCP) preferred
• Knowledge of financial services, brokerage or investments industry preferred
• A high level of professionalism and an appreciation for the confidentiality and sensitivity of information received and handled
• Outstanding customer service skills
• Excellent written and oral communication skills
• Ability to manage multiple tasks and maintain the necessary attention to detail in a fast-paced environment
• Ability to organize time and perform tasks with minimal direction
• Aptitude for technology, embrace change, and have a desire to learn
• Experience with My Case or any project management software
• FINRA experience a plus
• Google Docs, Survey Monkey, Mail Chimp, Canva, Loomly, Wavve experience a plus
• Background investigation required
• This is remote position
• Salary range is $50,000-$75,000 based on relevant experience
  
  

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